Transcript EDMS Workshop - Lower Hudson Regional Information Center

Using an ECM System to Manage
Electronic Records
New York State Archives
www.archives.nysed.gov
Today’s Objectives
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Introduction to ECM
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How an ECMS works
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Standards for ECM
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Plan for implementation
Defining an ECM System
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An enormous database
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Central platform for managing content
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Manages records in many formats
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Uses common standards and rules
ECMS versus EDMS
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ECMS
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Manages all kinds of content
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Made up of modules
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Reflects change in business practices
EDMS
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Manages electronic documents
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Can have additional applications
Content
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Completed form
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Letter to a customer
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Digital image of a birth certificate
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E-mail message
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Voicemail message
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Web page
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Video clip of a speech
Benefits of an ECMS
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Improve workflow
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Speed up retrieval and distribution
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Enhance security
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Eliminate document loss
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Institute version control
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Provide for disaster recovery
What is Needed?
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ECM software
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Networked PCs
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Server
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Scanner
Web-based ECM
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Very popular
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Access via Internet or intranet
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No need to learn new interface
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No need to maintain additional software
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Increased browser-based functionality
ECMS Functions
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Capture
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Manage
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Store
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Deliver
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Dispose
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Manage E-Mail
Capture
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Scanning
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From paper
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From microfilm
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Electronic records
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Computer-generated reports
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ERM (Enterprise Report Management)
E-Forms
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Online data capture and processing
Document Capture in ECMS
Manage
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Index
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Create metadata
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Monitor and control
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Revise
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Workflow
Index
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Keep index manageable
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Reduce manual keying time and errors
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Use existing electronic indexes
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Bar-coding
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OCR/ICR
Metadata in an ECMS
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File name
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Unique document number
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Security level
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File description
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File date
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Retention and description
Monitor and Control
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Work status
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Audit trails
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Alarms
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Automated work balancing
Audit Trails
Revise
Version control
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Identifies final drafts
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Maintains earlier drafts
Document annotation
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“Sticky notes”
Workflow
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Routes to a queue
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Sorts a queue
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Holds item in a queue
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Retrieves items from a queue
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Defines actions before forwarding
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Defines timeframes for receipt
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Defines action if doc not received
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Processes set of docs as a unit
Workflow in Everyday Life
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Packages received by UPS are bar coded
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Workers access package status info
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Barcode is scanned at receipt
As package moves through various hubs
Then provide to customers
Direct package at each hub
Track packages by
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Account number
Tracking ID
Date
Zip code
Store
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Follows and maintains index
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Saves files to server
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Saves backups to offline storage
Types of Storage Media
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Magnetic
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Hard drive
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Tapes (backup only)
Optical
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CD-R (Compact Disc-Recordable)
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CD-RW (Compact Disc-Rewritable)
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DVD (Digital Versatile Disc)
Deliver
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Search by hierarchical structure
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Across libraries or repositories
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By profiles
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Document or file profiles
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Folder profiles
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Index / keywords
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Full-text
Search Window in an ECMS
Secure
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Provide access controls at levels
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Repository
Folder
Document
Page
Redact documents
Audit Trails
Web access
Destroy
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Records Management Application (RMA)
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Includes retention schedule
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Links retention periods to records
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Automates disposition
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Standard developed by Defense Dept
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DoD 5015.2-STD
Why You Need an RMA
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RM is not a priority for users
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Retention not applied to ER
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Provides automated retention solution
Email Management
Problems with an ECMS
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Expensive
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Strong IT support
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Significant training
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Large cultural change
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Process changes
Business Process Analysis
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Analyze current processes
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Develop revised processes
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Assess solutions
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Integrate with ECMS
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Estimate costs
Process Analysis
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How records are received
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What occurs to records after receipt
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How are records used
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How many people use records
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What happens to records during process
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Where are records stored
Evaluating Products
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Product maturity
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Adherence to standards
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Ability to meet business needs
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Availability of tech support
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Cost
Implementation Step 1: RFP
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Form Project Team
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RFP
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Development
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Issuance
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Evaluation of bids
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Award (signed contract)
Implementation Step 2:
File Plan and Classification
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Analyze records
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Develop file plan
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Controlled vocabulary, directory structure
Develop classification system
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Arrangement and attributes of records
Implementation Step 3:
Application Design & Development
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Prioritize needs
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Application development
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Application testing
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User acceptance testing
Implementation Step 4: Training
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Train users to use the file plan
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Train users how to use the ECMS
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Implement ECMS file by file
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User practice
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Manage cultural change
Implementation Final Steps
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Hardware delivery and testing
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System testing
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System is live
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Expand system capability and user group
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Continue adding records
Backfile Conversion
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Determine need to convert backfile
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Three approaches
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Full backfile
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Partial backfile
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As-needed
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Address in BPA
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Indicate in RFP
Ensuring Successful
Implementation
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Choose products that meet your needs
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Understand and test software
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Identify improvements
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Demonstrate benefits
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Identify key users early
Case Study
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Madison County Dept of Social Services
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Did a needs assessment
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Created workflow charts for every process
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Critically examined each activity
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Formed an index with multiple search criteria
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19 different document types
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Day forward conversion
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Will include electronic forms and RMA
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Will expand to other offices in the County
Don’t Blame the Machine
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Documents not always filed to repository
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Inconsistent filing
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Poor RM practices transferred to ECMS
ECMS Does NOT
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Preserve information
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Ensure accuracy of record content
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Migrate electronic data
Preservation Options
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Migration
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Standard formats
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Refreshing storage media
Advantages for You
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Controls growth of records
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Can help ensure regulatory compliance
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Supports litigation
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Safeguards vital information
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Manages electronic archives
Advantages for Everyone
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Reduces operating costs
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Improves
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efficiency and productivity
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decision making
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customer service
Fosters professional business management
Last Words of Advice…
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Internal support
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Analysis
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Request for proposal
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State contracts for
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Integrators, hardware and software
Grant support from State Archives
Thank you for coming
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Final Questions?
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Please fill out Evaluation Form